Smaller Advisers: Making the Most of Limited Resources


Smaller advisers have the challenge of doing more with less. All the same rules apply, but these advisers have only so much bandwidth. This 2019 IAA Investment Adviser Compliance Conference breakout panel discusses how to be efficient, set priorities, streamlining of processes, use of sampling, different approaches to testing, documenting of work as part of an annual review, and use of service providers, trade associations, regional discussion groups, software, affiliates, and more.


The panel includes: Sharon C. Buccafusco, Vice President, Tradition Capital Management LLC David Edwards, President & Wealth Advisor, Heron Wealth Linda Shirkey, President, The Advisor's Resource, Inc. Mari-Anne Pisarri, Partner, Pickard Djinis & Pisarri.